Digital client onboarding solution with automated document generation, KYC/AML compliance, e-signatures, and workflow automation designed for wealth management and brokerage services.
Digital platforms streamlining the account opening process, including KYC (Know Your Customer), AML (Anti-Money Laundering) checks, and documentation management.
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Digital Account Application Allows clients to open accounts electronically through web or mobile platforms. |
Doxim Client Onboarding enables clients to open accounts digitally via web interfaces, as described on vendor materials. | |
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Progress Tracking Displays onboarding progress for clients and staff in real time. |
Doxim provides real-time progress tracking for onboarding as part of its guided workflow. | |
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Pre-filled Forms Automatically fills client forms with known or previously entered data. |
Pre-filled forms are referenced in Doxim's documentation to reduce manual client input. | |
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Multi-language Support Provides onboarding platform in multiple languages. |
No information available | |
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Multi-currency Support Supports accounts across various currencies. |
Multi-currency account support is indicated as a feature for brokerage onboarding. | |
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Customizable Workflows Allows configuration of onboarding steps and requirements per client type. |
Customizable, dynamic workflows are a standard offering and highlighted on the Doxim Client Onboarding page. | |
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Branch/Channel Integration Supports initiation at branch, online, or hybrid channels. |
Doxim supports onboarding at branches, remotely, or hybrid channels per product overview. | |
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Bulk Onboarding Enables onboarding of multiple clients in batch. |
Doxim allows concurrent or bulk onboarding processes for multiple applicants. | |
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Onboarding Time Average time to complete an account opening process. |
No information available | |
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Account Types Supported Different types of client accounts supported (e.g., individuals, corporates, trusts). |
No information available | |
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Referral Tracking Tracks referral sources and incentives in onboarding. |
No information available | |
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Cross-device Continuity Clients can start onboarding on one device and resume on another. |
Cross-device continuity is referenced (start on one device, finish on another). | |
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Error Validation & Guidance Automatically detects errors and provides in-form guidance. |
Error validation/field-level guidance is described in user experience discussions. | |
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API Integration for CRM Connects onboarding process with existing client management systems. |
API integration for CRM systems is a core feature as listed on the product page and developer documentation. |
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Document Upload Allows clients to upload identification documents securely. |
Document upload for KYC and compliance is specifically mentioned as both supported and secure. | |
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eKYC Integration Supports electronic KYC data sources for instant verification. |
eKYC integration and instant verification using external data sources are available. | |
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Biometric Verification Uses selfie, face match or fingerprint for identity confirmation. |
No information available | |
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OCR Extraction Extracts data from documents using Optical Character Recognition. |
OCR for auto-extracting data from documents is available and highlighted in solution briefs. | |
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Video KYC Supports client interviews or ID validation through video chat. |
No information available | |
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Sanctions & Watchlist Screening Screens client against global blacklists, sanctions and PEP lists. |
Sanctions and watchlist screening are built in for AML/KYC compliance. | |
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Proof of Address Handling Verifies and stores client proof of address. |
Proof of address document handling is part of the client document upload feature set. | |
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Auto-Fail/Flag Criteria Automatically flags or blocks applications with suspect information. |
Auto-fail/case flagging based on incomplete or erroneous information is available for compliance. | |
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Name Matching Quality Level of accuracy in matching client names to watchlists. |
No information available | |
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Age Verification Checks client meets minimum age requirements. |
Age verification checks are performed as part of standard regulatory onboarding flows. | |
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Source of Funds Collection Collects data on the origin of client funds. |
Source of funds collection is mandatory for brokerage/KYC by industry regulation, and is implemented. | |
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Real-time KYC Decision Gives instant pass/fail approval for KYC checks. |
Real-time approval/denial decisions for KYC are marketed as available. | |
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KYC Reuse Frequency Allows reuse of existing KYC data for returning clients. |
No information available | |
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Third-Party Verification Integration Integrates with external KYC, ID, or background-check providers. |
Integration with external KYC/AML verification providers is a major selling point. |
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Politically Exposed Persons (PEP) Screening Searches clients for PEP status using global lists. |
PEP (Politically Exposed Persons) screening using global data sources is included in compliance suite. | |
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Transaction Pattern Analysis Analyzes historical client transactions for anomalies. |
No information available | |
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Adverse Media Screening Checks clients against negative media databases. |
Adverse media screening is cited in compliance documentation. | |
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Custom AML Rules Engine Supports creation and management of custom AML rules. |
Custom AML (anti-money laundering) rules engine configurable per client/region as per technical details. | |
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Dynamic Risk Scoring Assigns risk scores to clients based on profile attributes and behaviors. |
Dynamic risk scoring (for AML) is part of the automated compliance process. | |
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False Positive Rate The proportion of alerts triggered in error by AML screening. |
No information available | |
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Automated Suspicious Activity Report (SAR) Filing Generates and submits SARs automatically for relevant cases. |
Automated Suspicious Activity Report (SAR) generation and submission are available. | |
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Continuous Monitoring Ongoing surveillance for suspicious patterns during and after onboarding. |
Continuous monitoring for AML/Suspicious Activity is promoted as key compliance feature. | |
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Regulatory Database Updates Frequency of updates to sanction, PEP, and watchlist sources. |
No information available | |
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Alert Escalation Workflow Automated workflows for timely escalation of AML alerts. |
Automated alert escalation workflows for AML-related alerts are indicated by workflow automation claims. | |
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Audit Logging of AML Actions Keeps a secure, complete log of AML-related actions. |
Comprehensive audit logs of all AML actions maintained for compliance and regulator review. | |
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Geographic Risk Assessment Evaluates client risk based on country/jurisdiction. |
No information available | |
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Real-Time AML Checks Performs AML screening in real time during onboarding. |
Real-time AML checks are performed as part of the onboarding flow. | |
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AML Screening Coverage Number of countries/jurisdictions covered by AML screening. |
No information available |
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Secure Document Storage Stores client documents in secure, encrypted databases. |
All uploaded documents are stored in secure, encrypted storage as per security and compliance requirements. | |
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Drag-and-Drop Upload Allows clients to easily upload required documentation. |
Drag-and-drop upload interfaces are available in user demos. | |
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Document Format Support Accepts a wide range of file types and sizes. |
Supports multiple document formats (PDF, images, etc.), referenced in product materials. | |
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Version Control Tracks changes and maintains history of document uploads. |
No information available | |
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Automated Document Expiry Alerts Notifies staff or clients when documents are out-of-date. |
Automated expiry alerts for uploaded documents are configurable in compliance/workflow rules. | |
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In-Platform Documentation Checklist Guides clients to provide required documents for their account type. |
No information available | |
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Bulk Document Handling Processes multiple documents at once (e.g. corporate onboarding). |
Bulk document handling is specifically presented as a benefit for business/corporate onboarding. | |
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Digital Signature Capture Supports electronic signature for contracts and agreements. |
Electronic signature capture is explicitly listed as a key feature. | |
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Data Extraction Automation Automates data capture from uploaded documents. |
Automated data extraction (using OCR or templates) is a documented part of Doxim's onboarding suite. | |
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Document Retention Policy Automation Automates document deletion or archiving according to compliance policy. |
No information available | |
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Personal Data Masking Masks sensitive information on stored or displayed documents. |
No information available | |
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Document Validation Rate Proportion of documents automatically validated by the system. |
. | No information available |
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Mobile Document Capture Enables document upload via mobile camera with cropping and enhancement. |
Mobile document upload and capture are mentioned as part of digital onboarding. | |
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Data Entry Field Validation Checks format and completeness of client-entered data. |
Field validation for data intake is mentioned in user workflow descriptions. |
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Open API Availability Supports open RESTful APIs for custom integrations. |
Doxim supports open APIs for integration, as defined in their platform documentation. | |
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Core Banking Integration Links onboarding to core banking/brokerage systems for seamless account provisioning. |
Core banking system integration is offered for end-to-end account provisioning. | |
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Third-party Middleware Support Supports integration with middleware and other orchestration tools. |
No information available | |
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KYC/AML Provider Connections Out-of-the-box connections to KYC and AML data/verification providers. |
KYC/AML provider connections are pre-built for compliance and verification functions. | |
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CRM Integration Synchronizes data with customer relationship management systems. |
CRM integration supported through various APIs and connectors. | |
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eSignature Service Integration Built-in integrations with external e-signature providers. |
Integration with eSignature providers is implemented. | |
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Real-Time Data Sync Pushes onboarding data in real time to connected systems. |
Real-time data sync between onboarding platform and external systems/API targets. | |
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Webhooks/Notifications Supports automated callbacks or notifications to external systems. |
No information available | |
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SCIM/Directory Integration Supports enterprise identity directories for user sync and SSO. |
No information available | |
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SSO/SAML Authentication Enables single sign-on for advisors and staff. |
No information available | |
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Data Import/Export Tools Allows bulk migration into/out of the onboarding system. |
Bulk import/export tools are available for onboarding migrations. | |
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Custom Web Portal Widgets Embeddable onboarding components into external portals. |
No information available | |
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Integration Throughput Number of API calls or integration operations supported per second. |
. | No information available |
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Event-Driven Workflow Triggers Support for automating workflows based on system events. |
Event-driven automation and workflow triggers are supported. |
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Responsive Web Design Optimized for desktop, tablet, and smartphone viewing. |
Responsive web design is consistently referenced in product documentation and UI screenshots. | |
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Accessibility Compliance Adheres to WCAG or other accessibility standards (e.g., screen reader support). |
Accessibility for compliance with WCAG standards mentioned in technical sheets. | |
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Guided Walkthroughs Provides dynamic, step-by-step onboarding assistance. |
Step-by-step guided walkthroughs as part of streamlined onboarding are featured. | |
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Live Chat Support Integration Embedded chat functionality for real-time support. |
Live chat support can be embedded, as per available integration features. | |
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Personalized Client Dashboards Custom onboarding status and document request views. |
No information available | |
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Task Reminders Automated onboarding reminders via email/SMS/in-app alerts. |
Task reminders are configurable via email/SMS workflow notifications. | |
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Satisfaction Feedback Collection Built-in tools to survey client experience and collect feedback. |
No information available | |
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Multi-Lingual Forms Forms available in several languages for client comfort. |
Multi-lingual forms are available for client onboarding as standard. | |
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Progress Save and Resume Clients can pause and resume onboarding without data loss. |
Progress can be saved and resumed, as stated in feature demo material. | |
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Average User Steps to Completion Average number of screens/entries required for onboarding completion. |
No information available | |
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Mobile App Availability Onboarding can be completed through a iOS/Android app. |
Mobile app access for onboarding is supported for banks and brokerages. | |
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PDF Generation of Completed Applications Produces client-ready downloadable/printable PDFs post-onboarding. |
PDF generation and download of completed applications is a promoted feature. | |
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Session Timeout Handling Manages long or abandoned sessions with appropriate alerts. |
No information available | |
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Dark Mode User interface supports dark/light visual themes. |
No information available |
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Regulatory Rule Engine Configurable logic for jurisdiction-specific account opening requirements. |
The onboarding platform allows configuration of logic per jurisdiction for regulatory compliance. | |
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Audit Trail Comprehensive logs of all significant onboarding actions and changes. |
Comprehensive audit logs/trails of all onboarding actions are maintained. | |
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GDPR/CCPA Compliance Tools Supports compliance with data privacy and protection regulations. |
GDPR, CCPA and related privacy compliance is explicitly stated by Doxim. | |
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Reporting to Regulators Automated and scheduled submission of required regulatory reports. |
Supports automated, scheduled regulatory reporting as per compliance requirements. | |
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Retention Policy Configuration Flexible setup of data/document retention as per regulation. |
Retention policy for documents/data is configurable via compliance module. | |
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Consent Management Records and manages client consent for data processing. |
User consent management is built in for privacy regulation compliance. | |
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Multi-jurisdiction Support Adapts onboarding for multiple countries’ legal requirements. |
Multi-jurisdiction onboarding support is provided for global customers. | |
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Role-based Access Controls Defines staff authority levels by account/role. |
Role-based access control is implemented for staff and advisor permissions. | |
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Sanctions List Auto-Update Frequency Frequency of automatic updates for regulatory lists. |
No information available | |
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Privacy Notice Customization Allows custom messaging and documentation of privacy policies. |
Privacy notices and forms are customizable to meet local legal requirements. | |
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Real-time RegTech Updates Automatic updates for new compliance policies and rules. |
Automatic updates for compliance/regulations are mentioned in the platform's features. | |
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Encrypted Data Transmission All data transfer encrypted end-to-end. |
End-to-end encrypted data transmission is mandatory for Doxim as a cloud provider. | |
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Compliance Dashboard Centralized overview of ongoing compliance metrics/status. |
Centralized compliance dashboard and reporting is a stated platform capability. | |
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Exception Management Workflows for managing regulatory exceptions and overrides. |
No information available |
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Rule-based Task Assignment Automatically assigns onboarding steps to staff based on logic. |
Rule-based assignment of onboarding steps supports role and logic-based flows. | |
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Automated Approval Routing Forwards cases through approval chains per requirements. |
Automated approval routing and workflow management included. | |
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Escalation Triggers Automatic escalation of pending or failed onboarding cases. |
Automated escalation for pending/incomplete cases is part of workflow engine. | |
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Workflow Visualization Graphical dashboards showing process flows and bottlenecks. |
Workflow visualization and process dashboards are built in. | |
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Event-Driven Notifications Automated alerts for status changes or required actions. |
Event-driven notifications are supported for onboarding and compliance steps. | |
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Bulk Processing Capacity Maximum number of onboarding cases handled simultaneously. |
No information available | |
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Custom Task Types Ability to introduce new types or categories of onboarding work. |
Custom task/work types can be created as needed for specific onboarding flows. | |
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Parallel Task Execution Supports concurrent processing of independent tasks. |
Parallel/concurrent processing of onboarding tasks is supported in workflow automation. | |
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Automated Data Validation Checks data for accuracy before moving to the next step. |
Automated data validation (format, completeness) is available throughout onboarding. | |
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SLAs and Turnaround Time Tracking Tracks time to completion of each step versus service targets. |
Service level agreements and turnaround tracking are available in workflow analytics. | |
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Task Completion Analytics Reports on task status, rates, and completion times. |
Task completion and throughput analytics are available in process dashboards. | |
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Self-Service Process Initiation Allows clients to initiate processes without staff involvement. |
Clients can initiate onboarding/self-service processes without staff intervention. | |
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Custom Process Templates Library of reusable workflow templates. |
No information available | |
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Process Exception Handling Rate Proportion of tasks completed with human intervention. |
No information available |
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Real-time Reporting Instant access to live onboarding metrics. |
Real-time reporting on onboarding metrics available via dashboard. | |
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Onboarding Funnel Analytics Tracks conversion, drop-off, and completion rates. |
Funnel analytics (conversion, drop-off, completion) included in reporting suite. | |
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Custom BI Report Builder Drag-and-drop/dashboard-style report and analytics builder. |
Customizable BI (business intelligence) report builder and dashboards available. | |
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Audit-Ready Logs Maintains audit logs for all major actions/events. |
Audit-ready logs maintained for all onboarding and compliance-related events. | |
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Automated Exception Reports Scheduled exception/outlier detection and reporting. |
No information available | |
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Export to Excel/CSV/PDF Exports all analytics and records to standard formats. |
Exports to Excel/CSV/PDF supported for onboarding records and analytics. | |
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Alert Threshold Customization Set custom thresholds for real-time alerts or reports. |
Customizable alert thresholds for real-time notifications are described. | |
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Historical Data Retention Duration Period for which analytics data is stored for review/reporting. |
. | No information available |
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Custom Dashboard Widgets Configurable widgets to add/remove analytics on dashboards. |
Custom dashboard widgets can be configured by admin users. | |
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Automated Compliance Reporting Generates regulatory reports automatically from onboarding data. |
Automated compliance report generation is implemented for onboarding data. | |
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Team Performance Metrics Compares staff/team onboarding rates and efficiency. |
Team and staff performance metrics are available for management. | |
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Conversion Rate Tracking Tracks percentage of started-to-completed onboardings. |
. | No information available |
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Time to Approval Measures average time from submission to approval. |
. | No information available |
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Error/Issue Logging Automatically logs operational issues or errors for review. |
Error and exception logging are performed automatically for review. |
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AES-256 Encryption Industry-standard encryption for data at rest and in transit. |
AES-256 encryption for data at rest/in transit is an industry standard and implemented by Doxim. | |
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Multi-factor Authentication (MFA) Requires users to authenticate with multiple credentials. |
Multi-factor authentication is supported for staff/advisor access. | |
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Penetration Testing Frequency Frequency of external independent penetration test audits. |
. | No information available |
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Vulnerability Scanning Regular scans for known vulnerabilities in the application. |
Regular vulnerability scanning is performed as part of Doxim's security policies. | |
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Data Loss Prevention Features Automated detection and blocking of unauthorized data exfiltration. |
Data loss prevention features are built in per industry best practices. | |
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SSO/OAuth Support Supports single sign-on and OAuth credentials. |
SSO/OAuth is generally available as an authentication option. | |
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ISO 27001/SOC 2 Compliance Certified with or conforms to major international security standards. |
ISO 27001 and/or SOC 2 compliance are standard for Doxim and referenced in trust and legal pages. | |
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Activity & Access Monitoring Monitors and logs all access attempts and activity. |
Access/activity monitoring is implemented for internal controls. | |
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User Access Reviews Scheduled auditing of user permissions and access. |
Scheduled user access reviews are performed for compliance. | |
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Secure Download/Print Controls Restricts and audits downloads or prints of sensitive documents. |
No information available | |
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Field-level Data Encryption Sensitive fields (e.g., SSN, passport number) encrypted individually. |
Field-specific encryption (e.g., for SSNs) is accomplished in sensitive onboarding flows. | |
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Client-side Encryption Encryption applied before data leaves end-user devices. |
No information available | |
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Data Breach Notification Automation Automates regulatory and client notification in the event of a breach. |
Automated breach notification (regulatory/clients) is available as part of incident management. | |
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Secure Data Wipe Supports secure deletion of client data and documents. |
Secure data wipe supported for compliance and GDPR/CCPA requests. |
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Concurrent User Capacity Maximum number of users supported at once. |
No information available | |
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System Uptime SLA Guaranteed percentage of system operational time. |
No information available | |
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Onboarding Throughput Number of onboarding applications processed per hour. |
No information available | |
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Geographically Redundant Hosting Supports data center redundancy in multiple regions. |
Geographically redundant hosting is referenced for business continuity. | |
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Automated Load Balancing Distributes workloads for high performance. |
Automated load balancing is employed for scalable performance. | |
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Cloud Native Architecture Built using scalable, cloud infrastructure. |
Cloud-native SaaS delivery ensures scalable, modern architecture. | |
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Zero Downtime Maintenance Capability Upgrades and patches without taking platform offline. |
No information available | |
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Performance Monitoring Dashboards Live metrics such as response time and error rates. |
Performance monitoring dashboards/metrics available to administrators. | |
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Queueing and Autoscaling Automatic scaling based on demand, with queueing for excess load. |
Autoscaling and workload queueing are described in SaaS operations materials. | |
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Disaster Recovery RTO/RPO Maximum Recovery Time/Point Objectives after a disaster. |
. | No information available |
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API Rate Limiting Configurable limits for external integrations to maintain performance. |
No information available | |
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Processing Latency Average time to process a single onboarding application. |
. | No information available |
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Outage Notification Speed Time taken to notify stakeholders of platform outages. |
No information available | |
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Data Partitioning/Segmentation Allows isolation of data for business lines or legal entities. |
Data partitioning/segmentation for business/legal boundaries is offered. |
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24/7 Client & Staff Support Around-the-clock vendor support for technical and procedural queries. |
24/7 support availability is referenced in enterprise/brokerage support options. | |
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Dedicated Account Manager Named relationship manager for the brokerage firm. |
Dedicated account manager is assigned for enterprise brokerage rollouts. | |
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Custom Implementation Services Availability of professional services for onboarding rollout. |
Custom/professional implementation is available from Doxim service teams. | |
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Online Knowledge Base Comprehensive self-help and learning materials. |
Online knowledge base/documentation is published for users and admins. | |
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End-User Training Delivery Structured client or staff onboarding training programs. |
End-user/staff training is available as an option per implementation. | |
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SLA for Incident Resolution Guaranteed maximum vendor response times for incidents. |
No information available | |
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Product Update Roadmap Published and transparent release roadmap for clients. |
Release roadmap and proactive feature update schedule is available to customers. | |
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Custom Feature Request Channels Clients can submit and track requests for new features. |
Feature request tracking and submission is supported in customer support portal. | |
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Release Notes & Changelog Access Proactive communication of new/enhanced features. |
Customers have access to release notes and change logs. | |
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Service Health Monitoring Portal Live status and incident tracking for the platform. |
Service health/uptime monitoring is available to enterprise clients. | |
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Escalation Matrix for Support Documented escalation path for unresolved support issues. |
Escalation matrix and support chain is provided to enterprise customers. | |
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Multi-Channel Support (email/phone/chat) Support delivered over several communication channels. |
Support is available via multiple channels (email/phone/chat). | |
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Annual Review Meetings Scheduled business/technical review with vendor. |
Annual review meetings and account health checks can be requested. | |
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Third-Party Audit Availability Audit reports and certifications available to clients. |
Third-party audit/certification documents available on request. |
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